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SECURITIES AND EXCHANGE COMMISSION v. LEK SECURITIES CORPORATION

No. 17cv1789 (DLC).

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. LEK SECURITIES CORPORATION, SAMUEL LEK, VALI MANAGEMENT PARTNERS d/b/a AVALON FA, LTD., NATHAN FAYYER, and SERGEY PUSTELNIK a/k/a SERGE PUSTELNIK, Defendants.

United States District Court, S.D. New York.

July 11, 2019.

Editors Note
Applicable Law: 15 U.S.C. § 78m(a)
Cause: 15 U.S.C. § 78m(a) Securities Exchange Act
Nature of Suit: 850 Securities / Commodities
Source: PACER

Attorney(s) appearing for the Case

Securities and Exchange Commission, Plaintiff, represented by David J. Gottesman , U.S. Securities and Exchange Commission, Edward Barrett Atwood , Securities and Exchange Commission, Robert Alan Cohen , U.S. Securities and Exchange Commission, Olivia S. Choe , Securities and Exchange Commission, pro hac vice & Sarah Nilson , Securities and Exchange Commission.

Lek Securities Corporation & Samuel Lek, Defendants, represented by Nicholas Lloyd McQuaid , Latham & Watkins LLP, Richard David Owens , Latham & Watkins LLP, Stephen Mark Dollar , Norton Rose Fulbright US LLP, Alysha M. Naik , Latham & Watkins LLP, David Barry Schwartz , Norton Rose Fulbright US LLP, Ilana Beth Sinkin , Norton Rose Fulbright US LLP, Kevin Harnisch , Norton Rose Fulbright US LLP & Ronald D. Smith , Norton Rose Fulbright US LLP.

Vali Management Partners, doing business as Avalon Fa Ltd., Nathan Fayyer & Sergey Pustelnik, also known as Serge Pustelnik, Defendants, represented by James M. Wines , Law Office of James M Wines & Steven Karl Barentzen , The Law Office of Steven Barentzen.

OPINION AND ORDER

On November 19, 2018, the Lek Defendants1 moved in limine to preclude certain testimony from Erin Smith ("Smith") and Patrick McCluskey ("McCluskey"), who the plaintiff U.S. Securities and Exchange Commission ("SEC") expects to call at trial to provide summaries...

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